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Full Opinion
In this case we consider the essential authority of trial courts to control the proceedings before them. The issue in this case pertains to the extent of a trial courtâs authority to govern the conduct of counsel and their clients in court proceedings. Where the Michigan Constitution authorizes us to make rules to govern court proceedings, the authority to enforce those rules inescapably follows. At the heart of preserving an organized polity, we must attend to relevant issues, including concerns over belligerent, antagonistic, or incompetent lawyering. To this end, we affirm the authority of trial courts to impose sanctions appropriate to contain and prevent abuses so as to ensure the orderly operation of justice.
We further acknowledge that our trial courts also have express authority to direct and control the proceedings before them. MCL 600.611 provides that â[cjircuit courts have jurisdiction and power to make any order proper to fully effectuate the circuit courtsâ jurisdiction and judgments.â Additionally, MCR 2.504(B)(1) provides that â[i]f the plaintiff fails to comply with these rules or a court order, a defendant may move for dismissal of an action or a claim against that defendant.â
In the instant case, we consider whether the trial court abused its discretion in dismissing plaintiffs case because plaintiff and her attorneys repeatedly and intentionally publicized inadmissible evidence so as to taint the potential jury pool, deny defendants a fair trial, and frustrate the due administration of justice. We conclude that because the trial court possessed the inherent authority to dismiss the action, and because the trial court warned plaintiff and her counsel that dismissal would result if they continued to publicize evidence ruled inadmissible by court order, the trial court did not abuse its discretion in dismissing plaintiffs case.
I. UNDERLYING PACTS AND PROCEDURAL HISTORY
Flaintiff Justine Maldonado, an employee of defendant Ford Motor Company, filed suit against Ford, alleging that a Ford supervisor, Daniel Bennett, sexually harassed her in violation of the Michigan Civil Rights Act (CRA), MCL 37.2101 et seq.
On September 11, 2001, less than a month before a settlement conference scheduled for October 3, 2001, and shortly after a three-week trial resulting in a directed verdict for defendants in the Elezovic case, plaintiffs counsel issued a press release on firm letterhead that referred to Bennettâs indecent exposure conviction, Judge Macdonaldâs exclusion of that conviction as evidence, and the impending trial in this case.
On November 9, 2001, Bennettâs indecent exposure conviction was expunged in district court proceedings.
By order dated January 11, 2002, Judge Macdonald established a trial date of July 8, 2002.
In February 2002, Judge Macdonald was assigned to the family division of the circuit court. Consequently, this case was reassigned by lot to Judge William Giovan. On May 17, 2002, Judge Giovan held a hearing regarding the admissibility of propensity evidence not currently at issue. Plaintiffs counsel invited the media to this hearing. Despite Judge Giovanâs order closing the hearing to the media,, plaintiffs counsel directed the
Immediately following the hearing, Judge Giovan met with all counsel to discuss plaintiffs counselâs continued public references to Bennettâs prior conviction despite Judge Macdonaldâs previous court order and the expungement of the conviction. Bennettâs counsel pointed out that plaintiffs counselâs behavior apparently violated MCL 780.623(5),
Judge Giovan declined to order plaintiffs counsel to obey MCL 780.623(5) because he considered it redundant to order an attorney to follow the law.
Plaintiff subsequently moved to dissolve Judge Macdonaldâs order excluding Bennettâs prior conviction from evidence. On June 13 and 21, 2002, Judge Giovan heard the motion. During that hearing, plaintiffs counsel mentioned that an article had been published in the June 12-18, 2002, issue of the Metro-Times, a free weekly publication readily available in the courthouse where jury selection was imminent. The article appeared on the front page of the newspaper and refer
The Court: But, you know, since you mentioned the article, whereâs this coming from? I thought that there is a prohibition against counsel speaking to â making public statements designed to affect trial.
Ms. Hardy [defense counsel]: There certainly is. Thereâs an ethics rule which prohibits counsel from intentionally trying to taint a jury pool by making the public aware of excluded evidence, which is exactly whatâs been occurring for quite some time.
The Court: Is counsel being quoted in this?
Mr. Washington [plaintiffâs counsel]: I think counsel on both sides. Ford was not, but Mr. Morgan and Ms. Massie and I were both quoted, all quoted.
The Court: Iâm not sure â wellâ
Ms. Hardy: It was initiated, without a doubt, and Mr. Washington will not dispute this, by Mr. Washington, as all the press has been initiated by his office, and the constant publicity is one issue, but the really serious issue is the effort by Mr. Washington to make sure that the press continues to report evidence or information concerning this expunged conviction so that some way, somehow, irrespective of this Courtâs ruling â[11]
*383 The Court-. Iâm not making any decisions about this, but Iâm going to tell you one thing. If I ever reach the conclusion that somebody is violating that ethical obligation and causing some difficulty in our getting a fair jury, I will dismiss the case with prejudice, or, and I should say, on the other side, grant a default judgment. I just want everyone to know that. And then whatever counsel is involved can answer to their client. [Emphasis added.]
The court denied the motion to dissolve Judge Macdonaldâs previous order of exclusion.
Three days later, on June 24, 2002, plaintiff was deposed, at which time she admitted that she had disclosed facts regarding Bennettâs expunged conviction despite the trial courtâs order disallowing such evidence. The following colloquy took place:
[Defense counsel]: If you can give me a ballpark figure, how many times since you found out about the expungement have you told other people about the fact that Mr. Bennett had this conviction that was later expunged?
[Plaintiffâs counsel]: You mean at people, period, one person at a time?
[Defense counsel]: Any individual, whether itâs groups, how many times has she gone out and publicized it, divulged it.
[Plaintiffl: I have no idea. Itâs been a lot.
Q. Over 100?
A. I donât know.
Q. Over ten?
A. Oh, definitely over ten, possibly over 100.
Q. Okay.
A. If I could get it out on the Internet, I would put it out on the Internet.
A. Iâm aware that youâre whining and crying because Iâm talking about it all over town, yes, I am aware of that. I wonât shut up about it. Itâs the truth. You can expunge it, but itâs the truth, and Iâm going to tell it, and you know what? I will tell anybody that will listen because this man is a menace and he must be stopped, and you know it and you know it [sic]. But you guys want to protect him, thatâs fine, Iâm not. I donât have to protect Mr. Bennett.
Q. So youâve been talking about itâ
A. To anyone.
Q. âany chance you get, to anyoneâ
A. Thatâs Right.
Q. âeven though-even since you became aware that it was expunged?
A. Yes. Absolutely.
On June 26, 2002, two days after the deposition, plaintiff and certain of her counsel participated in a âJustice for Justine Committeeâ demonstration outside Ford headquarters. During the demonstration, participants distributed leaflets to the public containing information regarding Bennettâs expunged conviction and evidence regarding Bennettâs alleged behavior toward other female Ford employees that the trial court had ruled inadmissible. The leaflet also stated that Judge Giovan âis in Fordâs pocketâ and âis trying to keep the truth out of the courtroom.â Also on this day, a television interview was broadcast on WDIV Channel 4, in which plaintiff stated:
If we donât act the way he [Judge Giovan] wants it, the way he sees fit, then heâll dismiss my case with prejudice. And what he doesnât know is, it doesnât bother me, because Iâm not going to quit fighting against sexual harassment.
On June 28, 2002, defendants moved to dismiss plaintiffs suit on the basis that plaintiff and her counsel engaged in improper pretrial publicity aimed at tainting the potential jury pool. On July 1, 2002, plaintiff responded by moving to disqualify Judge Giovan. On July 3, 2002, Judge Giovan heard and denied this motion. The same day, plaintiffs counsel, Miranda Massie, appeared in a television interview broadcast on WDiy Channel 4. She stated:
Metro Detroit has a company town feeling, and itâs hard to get a fair hearing from any of these judges when youâre going against the Ford Motor Company. Theyâll stop at nothing to maintain the culture of abuse that exists in those plants, and weâve found it hard to get unbiased judicial rulings in these cases.[13]
On July 8, 2002, the date on which jury selection was to begin, Judge Timothy Kenny heard plaintiffs appeal of Judge Giovanâs denial of the motion for his disqualification and affirmed the denial. Also on July 8, 2002, Judge Giovan heard defendantâs motion to dismiss.
Nobodyâs ever asked me that in my life. I â you know what. I fully support the âJustice for Justineâ, you know, committee. They have every right to do everything they [want]. And did I participate in a demonstration that was called by the âJustice for Justineâ committee, I did.
Judge Giovan attempted to respond to Ms. Masleyâs comment, but she interrupted him, stating, âI mean, have I or have I ever been a member of the Communist Party, is that what this is?â Moreover, in response to Judge Giovanâs inquiry regarding whether members of the âJustice for Justineâ committee were present in the court, Ms. Masley stated:
Have you guys even ever heard of the phrase âFreedom of association... ?â
I have no idea. Do they need to know â identify their political affiliations ... ?
(Interposing) Who did you guys vote for in the last judicial election?
The hearing continued into the following day. At the conclusion of the two-day hearing, plaintiff requested permission to file a supplemental brief, which Judge Giovan granted.
On August 21, 2002, Judge Giovan issued an opinion and order dismissing plaintiffs case with prejudice, concluding that plaintiff and her counsel had engaged in premeditated misconduct designed to tamper with
The Court of Appeals, affirmed in part, reversed in part, and acknowledged the trial courtâs authority to dismiss plaintiffâs complaint, but remanded the case to the trial court to hold an evidentiary hearing to determine whether plaintiffs and her counselâs comments actually prejudiced the jury pool.
Defendant sought leave to appeal to this Court. We directed the clerk to schedule oral argument on whether to grant the application or to take other peremptory action.
II. STANDARD of review
This case requires us to determine whether the Court
In People v Babcock, 469 Mich 247, 269; 666 NW2d 231 (2003), this Court noted that an abuse of discretion standard must be one that is more deferential than review de novo, but less deferential than the standard set forth in Spalding v Spalding, 355 Mich 382; 94 NW2d 810 (1959). This Court stated that âan abuse of discretion standard acknowledges that there will be circumstances in which there will be no single correct outcome; rather, there will be more than one reasonable and principled outcome.â Babcock, supra at 269. The Babcock Court further noted that â[w]hen the trial court selects one of these principled outcomes, the trial court has not abused its discretion and, thus, it is proper for the reviewing court to defer to the trial courtâs judgment.â Id. While Babcock dealt with a criminal sentencing issue, we prefer the articulation of the abuse of discretion standard in Babcock to the Spalding test and, thus, adopt it as the default abuse of discretion standard.
Additionally, in cases raising First Amendment issues, an appellate court is obligated to independently review the entire record to ensure that the lower courtâs judgment â â âdoes not constitute a forbidden intrusion
III. ANALYSIS
A. TRIAL COURTâS AUTHORITY TO SANCTION LITIGANTS FOR UNETHICAL BEHAVIOR
As stated above, trial courts possess the inherent authority to sanction litigants and their counsel, including the power to dismiss an action. Banta, supra at 368. âThe authority to dismiss a lawsuit for litigant misconduct is a creature of the âclean hands doctrineâ and, despite its origins, is applicable to both equitable and legal damages claims.â Cummings v Wayne Co, 210 Mich App 249, 252; 533 NW2d 13 (1995), citing Buchanan Home & Auto Supply Co v Firestone Tire & Rubber Co, 544 F Supp 242, 244-245 (D SC, 1981). âThe authority is rooted in a courtâs fundamental interest in protecting its own integrity and that of the judicial process.â Cummings, supra at 252. âThe âclean hands doctrineâ applies not only for the protection of the parties but also for the protection of the court.â Id., citing Buchanan Home, supra at 244.
Moreover, the Michigan Constitution confers on the judicial department all the authority necessary to exercise its powers as a coordinate branch of government. âConst 1963, art 3, § 2 divides the powers of government among three branches and commits to each branch exclusive exercise of the functions properly belonging to it, except as otherwise expressly provided in the Constitution.â
Moreover, express authority to dismiss a complaint is conferred by statute and court rule in Michigan. MCL 600.611 provides that â[c]ircuit courts have jurisdiction and power to make any order proper to fully effectuate the circuit courtsâ jurisdiction and judgments.â Additionally, MCR 2.504(B)(1) provides that â[i]f the plaintiff fails to comply with [the court] rules or a court order, a defendant may move for dismissal of an action or a claim against that defendant.â
Several of the Michigan Rules of Professional Conduct address sanctionable attorney conduct. MRPC 3.6 concerns trial publicity. It provides:
A lawyer shall not make an extrajudicial statement that a reasonable person would expect to he disseminated by means of public communication if the lawyer knows or reasonably should know that it will have a substantial likelihood of materially prejudicing an adjudicative proceeding. [Emphasis added.]
MRPC 3.5 addresses impartiality and decorum of the tribunal. It states:
A lawyer shall not:
(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law,
(b) communicate ex parte with such a person concerning a pending matter except as permitted by law; or
(c) engage in undignified or discourteous conduct toward the tribunal. [Emphasis added.]
It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(b) engage in conduct involving dishonesty, fraud, deceit, misrepresentation, or violation of the criminal law, where such conduct reflects adversely on the lawyerâs honesty, trustworthiness, or fitness as a lawyer;
(c) engage in conduct that is prejudicial to the administration of justice.
B. THE TRIAL COURTâS AUTHORITY TO DISMISS THIS CASE
In this case, Judge Macdonald initially concluded that evidence of Bennettâs prior conviction was inadmissible before the jury because of its unduly prejudicial nature. Rather than abiding by the trial courtâs order, even after both the Court of Appeals and this Court denied plaintiff leave to appeal regarding the order, plaintiff and her counsel engaged in a concerted and wide-ranging campaign in the weeks before various scheduled trial dates to publicize the details of the inadmissible evidence through the mass media and other available means. They continued to do so even after the trial court explicitly warned them that such misconduct would result in the dismissal of plaintiffs lawsuit.
The trial court has a gate-keeping obligation, when such misconduct occurs, to impose sanctions that will not only deter the misconduct but also serve as a deterrent to other litigants.
Moreover, MCL 600.611 and MCR 2.504(B)(1) provide the trial court with the authority to impose sane
Plaintiffs counsel also clearly understood Judge Macdonaldâs order and Judge Giovanâs explicit warning to adhere to the order. The trial court twice explicitly discussed the improper conduct with plaintiffs counsel and warned everyone about the consequences of continuing misconduct. Despite the warning, and despite the approaching trial, plaintiff and her counsel continued the misconduct.
Judge Giovan properly noted that, notwithstanding the rulings of two judges and the apparent illegality of disclosing Bennettâs excluded conviction, nothing would deter plaintiff from continuing to publicize information regarding Bennettâs excluded conviction. Plaintiff so admitted in her deposition. Even without an explicit order precluding plaintiff and her counsel from publicizing Bennettâs excluded conviction, Judge Giovan chose a principled option in dismissing plaintiffs case in order to protect the administration of justice. The imposition of any lesser sanction would have been unjust in light of plaintiffs and her counselâs flagrant misbehavior.
Plaintiff argues that Judge Giovan improperly relied on MRPC 3.6 in dismissing plaintiffs case. She contends that Judge Giovanâs dismissal was solely based on plaintiffs comments, and that MRPC 3.6 does not apply to nonlawyers. Plaintiff correctly argues that the Michigan Rules of Professional Conduct do not apply to nonlawyers, but mistakenly contends that Judge Giovan relied only on her behavior in ordering a dismissal. Plaintiff also erroneously contends that she is free to engage in improper pretrial publicity designed to taint the potential jury pool. The Michigan Court Rules do apply to plaintiff. They authorize the trial court to impose sanctions such as dismissal for party misconduct. MCR 2.504(B)(1). Judge Giovan expressly warned plaintiff that if she continued to disseminate informa
Judge Giovan did not reach a conclusion regarding a possible violation of MRPC 3.5, finding it was unnecessary because he dismissed the case under MRPC 3.6. Because Judge Giovan did not rely on this rule in dismissing the case, we need not reach a conclusion regarding a possible violation of the rule. We nevertheless enumerate plaintiffs counselâs acts of disrespect against the trial court to highlight plaintiffâs counselâs undignified and discourteous conduct toward the trial court.
Plaintiffs counsel, on numerous occasions, despite court orders and an explicit warning by the trial court, publicly divulged information regarding Bennettâs excluded conviction. Plaintiffs counsel also deliberately disregarded the trial courtâs oral directive to refrain from
We also note MRPC 8.4, although Judge Giovan did not rely on this rule in ordering dismissal. MRPC 8.4 prohibits lawyers from engaging in conduct that is prejudicial to the administration of justice. MRPC 8.4(a) prohibits lawyers from engaging in misconduct through the acts of others. Here, plaintiffs counsel not only failed to restrain plaintiff from repeatedly and intentionally publicizing Bennettâs inadmissible expunged conviction in order to taint the potential jury pool and deny defendants a fair trial, they participated with plaintiff in the misconduct on numerous occasions. This inappropriate and unprofessional conduct directly violated Judge Macdonaldâs order, Judge Giovanâs reaffirmance of the order, and Judge Giovanâs explicit warning. Moreover, this conduct was directly aimed at frustrating the due administration of justice. It also supports the dismissal of plaintiffs complaint.
C. THE FIRST AMENDMENT AND A TRIAL COURTâS ABILITY TO RESTRICT SPEECH
The First Amendment guarantees that the freedom of speech shall not be abridged. It states:
*399 Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances. [US Const, Am I.]
In Gentile, the United States Supreme Court addressed the standard governing the stateâs ability to discipline an attorney under an ethical rule that is identical in all relevant respects to MRPC 3.6, regarding speech about parties or proceedings in which an attorney is involved. The Court rejected the petitioner attorneyâs claim that he should be held to the âclear and present dangerâ standard applicable to the press, and concluded that âthe speech of lawyers representing clients in pending cases may be regulated under a less demanding standard than that established for regulation of the press.â Gentile, supra at 1074. The Court, in an opinion by Chief Justice Rehnquist, explained:
We agree with the majority of the States that the âsubstantial likelihood of material prejudiceâ standard constitutes a constitutionally permissible balance between the First Amendment rights of attorneys in pending cases and the Stateâs interest in fair trials.
When a state regulation implicates First Amendment rights, the Court must balance those interests against the Stateâs legitimate interest in regulating the activity in question. The âsubstantial likelihoodâ test... is constitutional ... for it is designed to protect the integrity and fairness of a stateâs judicial system and it imposes only narrow and necessary limitations on lawyersâ speech. The limitations are aimed at two principal evils: (1) comments that are likely to influence the actual outcome of the trial, and (2) comments that are likely to prejudice the jury venire, even if an untainted panel can ultimately be found. [Id. at 1075 (emphasis added).]
The Court noted that â[ljawyers representing clients in pending cases are key participants in the criminal
Judge Giovan, after reviewing Gentile, found a substantial likelihood of prejudice:
More important, however, is that the plaintiff should not be heard to make her argument, which goes like this: âWe deny that our behavior was intended to have a substantial likelihood of prejudice. But even if you establish that it was, you cannot dismiss the plaintiffs case until you establish that it has achieved its intended effect.â
We believe otherwise. That is not an acceptable standard for preserving the integrity of a court system. The behavior in question has been intentional, premeditated, and intransigent. It was designed to reach the farthest boundaries of the public consciousness. It should be presumed to have had its intended effect.
The Court of Appeals acknowledged that the applicable test under Gentile is whether the conduct generated a âsubstantial likelihoodâ of prejudice, yet remanded for an evidentiary hearing to determine whether âactualâ prejudice occurred.
We hereby affirm the trial courtâs understanding of Gentile. Plaintiffs and her counselâs numerous public references to Bennettâs inadmissible, expunged indecent exposure conviction, despite a court order excluding such evidence, were obviously intended to prejudice potential jurors. The trial court thus warned the parties and counsel that all public references to the expunged conviction in violation of the ethical rules would result
Well, now, before we move further, I think you understand that we need to draw a distinction between a partyâs willingness and right to disseminate to the public their ideas of how theyâve been unjustly treated and the like, and even criticism of the Court as opposed to whatâs really at stake here, and that is efforts to thwart the judicial system, and that is to disseminate, for example, excluded evidence and evidence forbidden to be disseminated by statute, which you have referred to. But nevertheless, you do need to differentiate between those two things.
The rules of evidence are designed to ensure fairness in the administration of justice, eliminate unjustifiable expe